RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
B••••••• J•••• C•••••
- W••••• M••••••••• I••••••••• A•••••••• L•• state registered currentsince Jan 10, 2018 · Spring, Tx
- S•••••• L•• independent RIA currentsince Jan 10, 2018 · Spring, Tx
- S•••••• L•• independent RIAFeb 3, 2017 to Dec 31, 2017 · Spring, Tx
- W••••• M••••••••• I••••••••• A•••••••• L•• state registeredFeb 3, 2017 to Dec 31, 2017 · Spring, Tx
- S•••••• L•• independent RIAApr 5, 2016 to Dec 31, 2016 · Spring, Tx
- W••••• M••••••••• I••••••••• A•••••••• L•• state registeredOct 17, 2014 to Dec 31, 2016 · Spring, Tx
- R•••• I••••••••• A••••••• L•• BD affiliatedNov 26, 2013 to Jul 2, 2015 · Spring, Tx
- O••• W••••• A•••••••• I••• formerAug 10, 2012 to Dec 31, 2013 · Spring, Tx
- W••••• M••••••••• I••••••••• A•••••••• L•• to S•••••• L••left Dec 31, 2017, registered Feb 3, 2017 (-331 days) · Other
- W••••• M••••••••• I••••••••• A•••••••• L•• to S•••••• L••left Dec 31, 2016, registered Apr 5, 2016 (-270 days) · Other · moved with a team
- S•••••• L•• to W••••• M••••••••• I••••••••• A•••••••• L••left Dec 31, 2016, registered Feb 3, 2017 (34 days) · RIA to a state-registered adviser
- R•••• I••••••••• A••••••• L•• to W••••• M••••••••• I••••••••• A•••••••• L••left Jul 2, 2015, registered Oct 17, 2014 (-258 days) · Other · moved with a team
- O••• W••••• A•••••••• I••• to R•••• I••••••••• A••••••• L••left Dec 31, 2013, registered Nov 26, 2013 (-35 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- STATE REGISTEREDderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address